Disclosure is dead, long live disclosure!
A sea change of focus hidden in a subtle change of terminology.
Compliance
SM&CR indicators
Will you be ready for the SM&CR review when it comes?
Suitability Reports – avoiding common problems
How to avoid some of the commonly found issues with Suitability Reports.
PROD – negative target market
You are probably familiar with the concept of a target market under PROD rules. What about the negative target market?
Beware – email hacking scam
An email hacking scam first seen a few years ago is back.
Guidance – Fair Treatment of Vulnerable Customers
The FCA has issued a second guidance consultation relating to vulnerable customers.
US Privacy Shield does not protect privacy – ECJ
The EU/US Privacy Shield agreement has been struck down by the ECJ.
Obligation to provide a suitability report to non-UK residents
Do you have to provide a suitability report for clients that are not UK citizens?
PS20/06 – part five: and finally!
In this final article of the series, we cover the remaining items from PS20/06.
Evolution of the FCA’s view of suitability
How the FCA's assessments of suitability have developed.